Kathleen OwensCRD Number: 1229711
Current Firm: Wells Fargo Clearing Services, LLC
Kathleen Owens (CRD# 1229711) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in East Lansing, MI and has over 24 years of experience in the finance industry.
Commonwealth Financial Network
Ryzome Investment Advisors
|Wells Fargo Clearing Services, LLC||East Lansing, MI||Nov 2016 - Current||1|
|Wells Fargo Advisors LLC||East Lansing, MI||May 2009 - Nov 2016||7|
|Wachovia Securities, LLC||East Lansing, MI||Jun 2003 - May 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1993|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management409,716MILLIONS
Total Number of Accounts1,359,521ACCOUNTS
Average Account Value$301,368
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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